0000921895-18-000366.txt : 20180201
0000921895-18-000366.hdr.sgml : 20180201
20180201180035
ACCESSION NUMBER: 0000921895-18-000366
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180130
FILED AS OF DATE: 20180201
DATE AS OF CHANGE: 20180201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lipman Matthew E.
CENTRAL INDEX KEY: 0001687758
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 18567976
MAIL ADDRESS:
STREET 1: 122 E.42ND STREET SUITE 4305
CITY: NEW YORK
STATE: NY
ZIP: 10168
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BP Peptides, LLC
CENTRAL INDEX KEY: 0001711689
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21214
FILM NUMBER: 18567975
BUSINESS ADDRESS:
STREET 1: 122 EAST 42ND STREET
STREET 2: SUITE 4305
CITY: NEW YORK
STATE: NY
ZIP: 10168
BUSINESS PHONE: 212-302-0699
MAIL ADDRESS:
STREET 1: 122 EAST 42ND STREET
STREET 2: SUITE 4305
CITY: NEW YORK
STATE: NY
ZIP: 10168
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Capstone Therapeutics Corp.
CENTRAL INDEX KEY: 0000887151
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 860585310
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1275 WEST WASHINGTON STREET
STREET 2: SUITE 101
CITY: TEMPE
STATE: AZ
ZIP: 85281
BUSINESS PHONE: 6022865520
MAIL ADDRESS:
STREET 1: 1275 WEST WASHINGTON STREET
STREET 2: SUITE 101
CITY: TEMPE
STATE: AZ
ZIP: 85281
FORMER COMPANY:
FORMER CONFORMED NAME: ORTHOLOGIC CORP
DATE OF NAME CHANGE: 19940211
4
1
form410959006_02012018.xml
OWNERSHIP DOCUMENT
X0306
4
2018-01-30
0
0000887151
Capstone Therapeutics Corp.
CAPS
0001687758
Lipman Matthew E.
122 E.42ND STREET SUITE 4305
NEW YORK
NY
10168
1
0
1
0
0001711689
BP Peptides, LLC
122 EAST 42ND STREET
SUITE 4305
NEW YORK
NY
10168
1
0
1
0
Common Stock, $0.0005 par value
18541197
I
By: BP Peptides, LLC
Warrant (Right to Buy)
0.075
2018-01-30
4
J
0
1
A
2025-10-15
Common Stock, $0.0005 par value
6321930
1
I
By: BP Peptides, LLC
This Form 4 is filed jointly by BP Peptides, LLC ("BP Peptides") and Matthew E. Lipman (collectively, the "Reporting Persons"). Mr. Lipman is a director of the Issuer. BP Peptides may be deemed to be a director by deputization by virtue of the fact that Mr. Lipman, the Manager and President of BP Peptides, is a director of the Issuer.
Represents securities owned directly by BP Peptides. As the Manager and President of BP Peptides, Mr. Lipman may be deemed to beneficially own the securities owned directly by BP Peptides. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan.
By: /s/ Matthew E. Lipman
2018-02-01
By: BP Peptides, LLC, By: /s/ Matthew E. Lipman, Manager and President
2018-02-01